MM
Merrie L. Moy
TRANSAMERICA FINANCIAL ADVISORS
Waltham, MA 02451
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CRD#: 6260268
MM
Professional summary
Merrie Liu Moy, who also goes by Merrie Meihong Liu, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Waltham, Massachusetts.
Merrie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Merrie has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Merrie Meihong Liu
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Massachusetts Health Connector / 0622-Present / Investment Related: No / 133 Portland Street Boston, MA 02114 / Broker / Health Insurance Sales / Hrs. Work Monthly: 4 / Sec Trading Hrs: 0 / As a health insurance broker, I'll help my clients to apply health insurance. One Share Health / 1019-Present/ Investment Related: No / 3701 Regent Blvd. Suite 150 Irving, TX, 75063 / Producer / Provide membership to share medical cost/ Hrs Work Monthly: 5 / Sec Trading Hrs: 0 / Provide membership to share medical cost Empower Team LLC/ 10.20.2016/ Managing Member/ Ensure smooth operation with deemed necessary activities and responsibilities/ 430 Bedford St Ste 100 Lexington MA 02420/ Non-Investment Related/ 35 HRS/MTH/ Approved with Restrictions HEALTH MARKET PLACE/ 1.15.2018/ INDEPENDENT AGENT/ NON-INVESTMENT RELATED/ 1500 BOSTON PROVIDENCE TURNPIKE STE 20 NORWOOD MA 02062/ 10/ PROVIDE SERVICES FOR PEOPLE WHO ARE SEEKING HEALTH OR MEDICARE INSURANCE COVERAGE/ APPROVED WITH RESTRICTIONS GARITYADVANTAGE INSURANCE MARKETING AGENCIES /emp dates: 0321 TO PRESENT/ INVESTMENT RELATED: NO /address: 17 ACCORD PARK DRIVE SUITE 107 NORWELL, MA 02061 / position: AGENT/ nature of business: MEDICARE INSURANCE/hrs work monthly: 8/Sec trading hrs: 0/ duties: THROUGH GARITYADVANTAGE INSURANCE MARKETING AGENCIES, I CAN SELL MANY MEDICARE PLANS OFFER BY AETNA MEDICARE SOLUTIONS, UNITED HEALTHCARE, HARVARD PILGRIM, FALLON MEDICARE PLUS, HEALTH NEW ENGLAND, HUMANA, BLUE CROSS BLUE SHIELD, WELLCARE ETC HSA INSURANCE POSITION: Broker NATURE: Healthcare, Dental, Disability INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/25/2022 ADDRESS: 135 Wood Road, Braintree MA 02184, United States DESCRIPTION: As a broker of HSA Insurance, I am able to sell group and individual Healthcare, Dental or Disabilities insurance plans, etc. VSP VISION POSITION: Broker NATURE: Vision Care INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/25/2022 ADDRESS: 3333 Quality Drive, Rancho Cordova CA 95670, United States DESCRIPTION: As a broker of VSP Vision Care, I'm able to sell individual and group vision care plans.
CRS (Client Relationship Summary) - RIA
Click below to view Merrie Liu Moy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Merrie Liu Moy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 8, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 75 Third Ave Suite 310, Waltham, MA 02451RIA
BD
CRD#: 16164
Waltham, MA
Current
November 27, 2013 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 75 Third Ave Suite 310, Waltham, MA 02451RIA
BD
CRD#: 16164
Waltham, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/28/2018)
RR
Colorado(9/28/2018)
RR
Connecticut(9/28/2018)
RR
Delaware(4/13/2017)
RR
Georgia(9/28/2018)
RR
Maine(4/13/2017)
RR
Massachusetts(12/20/2013)
IAR
Massachusetts(11/8/2016)
RR
Michigan(9/28/2018)
RR
Nevada(6/30/2023)
RR
New Hampshire(9/28/2018)
RR
New Jersey(9/28/2018)
RR
New York(9/28/2018)
RR
Pennsylvania(4/13/2017)
RR
Rhode Island(3/28/2017)
RR
Virginia(9/28/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Waltham, MA 02451TRUST BUT VERIFY
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